Compliance Newsletter
  Given the current regulatory landscape, it is important to know the key developments that may affect your organisation. I am delighted to share our latest Compliance Communiqué to apprise you of the latest regulatory changes and updates, so your institution will have the necessary policies, procedures and processes in place to ensure compliance.

Jehan Jeyaretnam – Head of Compliance Services

Blog: A deep dive into the SEC’s new marketing rule   Blog: Digital ESG communications from a compliance perspective
Blog   Blog
All advisory firms have updated their compliance programmes to meet the 4 November 2022 deadline of complying with the Securities and Exchange Commission’s (SEC) new marketing rule.

  An environmental, social and governance (ESG) framework helps shareholders recognise how an organisation handles risks and opportunities associated with ESG investments.

Impact Story: Investment compliance support for a global asset manager   Impact Story: Advertising material review support for a British global asset management group
Blog   Blog
Acuity helped a global asset manager to perform biennial reviews of all investment restrictions across its accounts. Read on to know more.

  Know more how Acuity helped a British asset manager review 4x advertising material with 50% reduction in compliance costs

  Solution showcase
Investment Compliance   Customer Due Diligence
Blog   Blog
Ensuring rule coding is consistent, accurate, efficient, to agreed coding standards and reconciles with the investment guidelines

  Our KYC-managed services enable organisations to stay ahead of the regulatory curve by bringing deep domain expertise and industry-led capabilities to provide integrated KYC lifecycle management.

Regulatory updates
  • A US-based crypto exchange was fined USD24m by US authorities for helping clients evade US sanctions in regions such as Syria, Iran and Crimea. (Read more)
  • The Financial Conduct Authority announced the formation of a group to develop a Code of Conduct for ESG data and ratings providers. (Read more)
  • The SEC is proposing a new rule under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services or functions without first meeting the prescribed minimum requirements. (Read more)
  • The European Securities and Markets Authority, the EU’s financial markets regulator and supervisor, has issued its advice on proposed leveraged limits by the Central Bank of Ireland on Irish real estate funds (Read more)

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